AGENDA - Audit Committee - 20150324AUDIT COMMITTEE
MEETING AGENDA
TUESDAY,MARCH 24,2015
6:30 P.M.
COUNCIL CHAMBERS
AURORA TOWN HALL
PUBLIC RELEASE
March 20,2015
TOWN OF AURORA
AUDIT COMMITTEE MEETING AGENDA
Tuesday,March 24,2015
6:30 p.m.
Council Chambers
1.DECLARATION OF PECUNIARY INTEREST AND GENERAL NATURE
THEREOF
2.APPROVAL OF THE AGENDA
RECOMMENDED:
THAT the agenda as circulated by Legal and Legislative Services be
approved as presented.
3.DELEGATIONS
(a)Giselle Bodkin,Partner,and Andrea Nauss,Manager,BDO Canada
LLP
Re:Item 1 –CFS15-013 –Audit Plan for 2014 Fiscal Year
4.CONSIDERATION OF ITEMS
5.CLOSED SESSION
6.ADJOURNMENT
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AGENDA ITEMS
1.CFS15-013 –Audit Plan for 2014 Fiscal Year pg.1
RECOMMENDED:
THAT Report No.CFS15-013 be received;and
THAT the 2014 year end Audit Plan as proposed by BDO Canada LLP be
endorsed.
AUDIT COMMITTEE REPORT No.CFS15-013
SUBJECT:Audit Plan for 2014 Fiscal Year
FROM:Dan Elliott,Director,Corporate &Financial Services -Treasurer
DATE:March 24,2015
RECOMMENDATIONS
THAT Report No.CFS15-013 be received;and
THAT the 2014 year end Audit Plan as proposed by BDO Canada LLP be
endorsed.
PURPOSE OF THE REPORT
In accordance with the Audit Committee Terms of Reference the audit committee is
responsible to:
“Review the audit plan and audit fee schedule for the ensuing year end”
BACKGROUND
Attached is the Audit Plan for the 2014 Year End audit as prepared by the firm of BDO
Canada LLP (BDO).Representatives from BDO will be making a short presentation to
the Committee in order to review its details.
COMMENTS
Since 2012,BDO has been providing Auditing Services for the Town of Aurora as part
of a joint tender with the six northern York municipalities.2014 represents the final year
of the existing contract with BDO.
The attached report prepared by BDO addresses the audit plan for 2014 year end,
including the scope and approach to their audit.Staff are not in a position to comment
or challenge the approach that the auditors have chosen in order to fulfil their
professional obligations required when rendering an audit opinion report.From the
perspective of the Financial Services group,we continue to be committed to the
provision of any requested documentation to the auditor in a prompt fashion in an effort
to facilitate the audit in a timely manner.
TOWN OF AURORA
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March 24,2015 -2 -Report No.CFS15-013
Audit fees are always quoted on the presumption that staff will have completed all
requested schedules and support materials requested in advance of the audit,and that
the financial statements and associated notes have been properly and fully prepared by
staff.The fees also anticipate not finding any item of substance requiring extensive
additional audit effort to resolve or report.Accordingly,the recommendation includes a
provision that the Treasurer be authorized to approve additional fee invoices to an
amount not to exceed 10%of the quoted fee.
The auditors are required to review all Council minutes,including closed session
minutes.They are also required to review the prior year’s internal control letters and
consider any concerns raised therein during their current audit,looking for continuing
circumstances,weaknesses or concerns as raised in the prior year,and how such may
affect the outcome of their current audit,and the opinion to be expressed therefrom.
LINK TO STRATEGIC PLAN
The annual audit is a statutory requirement,and is guided by professional standards
applicable to all Canadian licenced audit practitioners.Preparation and publication of
the annual audited financial statements supports the Strategic Plan principles of
integrity,progressive corporate excellence and continuous improvement.
ALTERNATIVE(S)TO THE RECOMMENDATIONS
1.Audit Committee may wish to commission the auditors to undertake any special
reviews or additional works,however these will incur additional professional fees,for
which budget funding will be required.
FINANCIAL IMPLICATIONS
The cost for the audit has been provided for within the 2014 budget,as the audit relates
to the 2014 fiscal year.The audit fees have been fully accrued against the 2014
expenses.
An amount of $40,900 has been budgeted for 2014 with anticipated fees of $27,500 for
the audit of the consolidated financial statements,excluding administration charges and
taxes.However,incremental costs are anticipated for additional work on tangible capital
assets.
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THE CORPORATION OF THE TOWN OF AURORA 2
TABLE OF CONTENTS
Executive Summary 3
APPENDIX A –Your BDO Engagement Team 8
APPENDIX B –Audit Strategy 9
APPENDIX C –Management Responsibilities 11
APPENDIX D –Circumstances Affecting Timing and Fees 12
APPENDIX E –Audit Committee Responsibilities 13
APPENDIX F –Auditor’s Considerations of Possible Fraud and Illegal Activities 14
APPENDIX G –Independence Letter 16
APPENDIX H –Communication Requirements 18
APPENDIX I –Resources and Services 19
APPENDIX J –Changes in Accounting Standards Affecting Your Municipality 21
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THE CORPORATION OF THE TOWN OF AURORA 3
EXECUTIVE SUMMARY
ENGAGEMENT LETTER
The terms and conditions of our engagement are included in the engagement letter,which was
signed previously on behalf of the Audit Committee.
RESPONSIBILITIES
It is important for the Audit Committee to understand the responsibilities that rest with the
external auditor and the responsibilities of those charged with governance.BDO’s
responsibilities are outlined within the annual engagement letter.The oversight and financial
reporting responsibilities of the Audit Committee as they pertain to the annual audit are
summarized below.
Oversee the work of the external auditor engaged for the purpose of issuing an auditor’s
report.
Pre-approve all non-audit services to be provided to the Municipality by the external
auditor.
Facilitate the resolution of disagreements between management and the external auditor
regarding financial reporting matters,if any.
Refer to Appendix E for full details on the responsibilities of the Audit Committee.
ENGAGEMENT OBJECTIVES
Express an opinion as to whether the consolidated financial statements present fairly,in all
material respects,the financial position,and results of operations,changes in its net assets
and cash flows of the Municipality in accordance with Public Sector Accounting Standards
(PSAB).
Present significant findings to the Audit Committee including key audit and accounting
issues,any significant deficiencies in internal control and any other significant matters
arising from our work.
Provide timely and constructive management letters.This will include deficiencies in
internal control identified during our audit.
Consult regarding accounting and reporting matters as requested throughout the year.
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THE CORPORATION OF THE TOWN OF AURORA 4
AUDIT STRATEGY
Refer to Appendix B for our audit strategy.
MATERIALITY
Misstatements,including omitted financial statement disclosures,are considered to be
material if they,individually or in aggregate,could reasonably be expected to influence the
economic decisions of users taken on the basis of the consolidated financial statements.
Judgments about materiality are made in light of surrounding circumstances and include an
assessment of both quantitative and qualitative factors and can be affected by the size or
nature of a misstatement,or a combination of both.
For purposes of our audit,we have set preliminary materiality at $1,450,000 for the
Municipality and a preliminary performance materiality at $1,087,500.
Our materiality calculation is based on the Municipality’s preliminary results.In the event that
actual results vary significantly from those used to calculate preliminary materiality we will
communicate these changes to the Mayor and Council as part of our year end communication.
We encourage management to correct any misstatements identified throughout the audit
process.
RISKS AND PLANNED AUDIT RESPONSES
Based on our knowledge of the Municipality’s business,our past experience,and knowledge
gained from management and the Audit Committee,we have identified the following
significant risks;those risks of material misstatement that,in our judgment,require special
audit consideration.
Significant risks arise mainly because of the complexity of the accounting rules,the extent of
estimation and judgment involved in the valuation of these financial statement areas,and the
existence of new accounting pronouncements that affect them.We request your input on the
following significant risks and whether there are any other areas of concern that the Audit
Committee has identified.
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THE CORPORATION OF THE TOWN OF AURORA 5
RISKS AND PLANNED AUDIT RESPONSES (CONTINUED)
Audit Risk Proposed Audit Approach
Management Override of
Controls
Management is in a unique
position to perpetrate fraud
because of management’s
ability to directly or indirectly
manipulate accounting records
prepare fraudulent financial
statements by overriding
controls that otherwise appear
to be operating effectively.
Our planned audit procedures
test the appropriateness of
journal entries recorded in the
general ledger and other
adjustments made in the
preparation of financial
statements.
We will also obtain an
understanding of the business
rationale for significant
transactions that we become
aware of that are outside the
normal course of operations for
the Municipality,or that
otherwise appear to be unusual
given our understanding of the
Municipality and its
environment.We will review
accounting estimates for biases
and evaluate whether the
circumstances producing the
bias,if any,represented a risk
of material misstatement due to
fraud.
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THE CORPORATION OF THE TOWN OF AURORA 6
FRAUD RISK
Canadian generally accepted auditing standards require us to discuss fraud risk with the Audit
Committee on an annual basis.We have prepared the following comments to facilitate this
discussion.
Required Discussion BDO Response
Question to Audit
Committee
Details of existing
oversight processes
with regards to fraud.
Through our planning process,and based
on prior years’audits,we have
developed an understanding of your
oversight processes including:
Audit Committee charters;
Discussions at Audit Committee
meetings and our attendance at
those meetings;
Review of related party
transactions;and
Consideration of tone at the top.
Are there any new
processes or changes
in existing processes
relating to fraud that
we should be aware
of?
Knowledge of actual,
suspected or alleged
fraud.
Currently,we are not aware of any
fraud.
Are you aware of any
instances of actual,
suspected or alleged
fraud affecting the
Municipality?
Refer to Appendix F for our considerations of possible fraud and illegal activities during the
performance of our audit.
FINAL ENGAGEMENT REPORTING
As part of our final reporting to the Audit Committee,we will provide a communications
package to support the committee in discharging their responsibilities.This communication
will include any identified significant deficiencies in internal controls.See Appendix H for a
comprehensive list of communication requirements throughout the audit.
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OTHER MATTERS
Audit Fees We propose fees of $27,500 (2013 -$25,000)for the audit of the
consolidated financial statements,excluding administration charges and
taxes.Refer to Appendix E for circumstances that could potentially
affect our fees.
Timing The following schedule has been agreed to with management:
Weeks of January 5,2015 and January 12,2015 –Interim audit
work
Weeks of April 6,2015 and April 13,2015-Yearend audit work
Independence Our annual independence letter has been included as Appendix G
Management
Representations
As part of our audit finalization we will obtain written representation
from management,a copy of these representations will be included as
part of our final report.
New Accounting
Standards
Refer to Appendix J for changes in standards.Any changes that will
impact the Municipality have been highlighted in more detail in the risk
section above.
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APPENDIX A –Your BDO Engagement Team
Name Role
Years on
Engagement Email
Giselle Bodkin,CPA,CA Engagement
Partner
3 years gbodkin@bdo.ca
Andrea Nauss,CPA,CA Assurance
Manager
2 years anausss@bdo.ca
Tom Wolfenden Assurance
Senior
3 years twolfenden@bdo.ca
Felix Young Assurance
Intermediate
2 years fyoung@bdo.ca
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APPENDIX B –Audit Strategy
Our overall audit strategy involves extensive partner and manager involvement in all aspects of
the planning and execution of the audit and is based on our overall understanding of the
Municipality.
We will perform a risk based audit which allows us to focus our audit effort on higher risk areas
and other areas of concern for management and the Mayor and Council.
To assess risk accurately,we need
to gain a detailed understanding of
the Municipality’s operations and
the environment it operates in.
This allows us to identify,assess
and respond to the risks of material
misstatement.
To identify,assess and respond to
risk,we obtain an understanding of
the system of internal control in
place in order to consider the
adequacy of these controls as a
basis for the preparation of the
consolidated financial statements.
We then determine whether
adequate accounting records have
been maintained and assess the
adequacy of these controls and
records as a basis upon which to
design and undertake our audit
testing.
Based on our risk assessment,we design an appropriate audit strategy to obtain sufficient
assurance to enable us to report on the consolidated financial statements.
We will choose audit procedures that we believe are the most effective and efficient to reduce
audit risk to an acceptably low level.The procedures are a combination of testing the
operating effectiveness of internal controls,substantive analytical procedures and other tests
of detailed transactions.
We will perform audit procedures maintaining an appropriate degree of professional
skepticism,in order to collect evidence to conclude whether or not the consolidated financial
statements are presented fairly,in all material respects in accordance with PSAB.
It is important that we maintain effective two-way communication with the Audit Committee
throughout the entire audit process so that we may both share timely information.The audit
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THE CORPORATION OF THE TOWN OF AURORA 10
process will conclude with an audit meeting and the preparation of our final report to the Audit
Committee.
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APPENDIX C –Management Responsibilities
All facets of a Municipality’s internal controls including those governing the accounting records,
systems and financial statements will be impacted by the Municipality’s complexity,the nature
of risks,and the related laws,regulations,or stakeholder requirements.It is management’s
responsibility to determine the level of internal control required to respond reasonably to the
Municipality’s risks.
The preparation of the Municipality’s financial statements including all disclosures in
accordance with PSAB is the responsibility of management.Among other things,management
is responsible for:
1.Design and implementation of internal controls over financial reporting to enable the
preparation of financial statements that are free of material misstatements;
2.Inform the Municipality’s auditors of any deficiencies in design or operation of internal
controls;
3.Update the Municipality’s auditors for any material change in the Municipality’s
internal controls including if the individual responsible for the controls have changed;
4.Identification of and compliance with any laws,regulations,and/or agreements which
apply to the Municipality;
5.Any adjustments required to the consolidated financial statements to correct material
misstatements;
6.Safeguarding of assets;
7.Provide the auditor with all financial records,and related data which may be related to
the recognition,measurement and or disclosure of transactions in the consolidated
financial statements;
8.Provide accurate copies of all minutes of the meetings of the Mayor and Council or
committees of directors;
9.Provide timely,accurate information as requested for the completion of the audit;
10.Allow unrestricted access to persons,or information as requested as part of the audit;
11.Notify the auditor of any circumstances which arise between the date the audit work is
completed and the approval date of the consolidated financial statements.
Representation Letter
We will make specific inquiries of the Municipality’s management about the representations
embodied in the consolidated financial statements and internal control over financial
reporting.During the completion of our audit documentation,we will require management to
confirm in writing certain representations in accordance with Canadian generally accepted
auditing standards.These representations are to be provided to us in the form of a
representations letter which will be provided as near as practicable to,but not after the date
of our auditor’s report on the consolidated financial statements.
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APPENDIX D –Circumstances Affecting Timing and
Fees
The fee quote for the audit is based on careful consideration of the time required to complete
the required work.Circumstances may arise during the engagement which could significantly
impact the targeted completion dates and or our fee estimates.As a result,additional fees
may be necessary.Such circumstances include,but are not limited to,the following:
Significant Issues
1.Changes in the design or function of internal controls can impact the audit and result in
additional substantive testing;
2.Significant number of proposed adjustments which are identified during the audit work;
3.Significant changes are required to the format or information contained in the
consolidated financial statements;
4.New issues resulting from changes to:
a.Accounting standards,policies or practices
b.Special events or transactions which were not contemplated in the original
budget
c.The financial reporting process or systems involved
d.Accounting personnel or availability of accounting personnel
e.The requirement to include specialists in the audit work
5.Changes to the scope of the audit.
Audit Execution
1.Audit schedules are not provided in a timely manner,are not mathematically correct,
or do not agree to the underlying accounting records.
2.There are significant delays in responding to our requests for information or responses
require significant further investigation.
3.The quality of the supporting information for the audit work has deteriorated from our
previous experience.
4.A complete working paper package is not provided on the agreed upon date.
5.There is a limitation of access to the financial staff required to complete the audit.
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APPENDIX E –Audit Committee Responsibilities
General Responsibilities
It is the Audit Committees responsibility to provide oversight of the financial reporting process.
This includes management’s preparation of the consolidated financial statements,monitoring
of the Municipality’s internal controls,overseeing the work of the external auditor,facilitating
the resolution of disagreements between management and the auditor,as well as the final
review of the consolidated financial statements and other annual reporting.
Significant Audit Findings
Based on the work we perform,any significant identified deficiencies in internal control will be
reported to you in writing.The purpose of our audit is to express an opinion on the
consolidated financial statements.While our audit includes a consideration of the internal
control structure of the Municipality,our work is focused on those controls relevant to financial
reporting.As such our work was not designed to provide an opinion on the effectiveness of the
internal controls.
We will communicate our views regarding any significant qualitative aspects of the
Municipality’s accounting practices.This would include the selection and application of
accounting policies,estimates and financial statement disclosure.If during our audit we feel
that the selected policies,estimates or disclosures are not appropriate for the Municipality
under its reporting framework,we will communicate these matters to the Audit Committee.
In addition,we will communicate:
Any significant difficulties which arose during the audit;
Any reasons identified which may cause doubt as to the Municipality’s ability to
continue as a going concern;
The written representations we will request from management;
Any identified unadjusted misstatements;
Any identified or suspected fraudulent activities.
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APPENDIX F –Auditor’s Considerations of Possible
Fraud and Illegal Activities
We are responsible for planning and performing the audit to obtain reasonable assurance that
the consolidated financial statements are free of material misstatements,whether caused by
error or fraud,by:
Identifying and assessing the risks of material misstatement due to fraud;
Obtaining sufficient and appropriate audit evidence regarding the assessed risks of
material misstatement due to fraud,through designing and implementing appropriate
responses;and
Responding appropriately to fraud or suspected fraud identified during the audit.
The likelihood of not detecting a material misstatement resulting from fraud is higher than the
likelihood of not detecting a material misstatement resulting from error because fraud may
involve collusion,as well as sophisticated and carefully organized schemes designed to conceal
it.
During the audit,we will perform risk assessment procedures and related activities to obtain an
understanding of the entity and its environment,including the Municipality’s internal control
system,to obtain information for use in identifying the risks of material misstatement due to
fraud and make inquiries of management regarding:
Management’s assessment of the risk that the consolidated financial statements may be
materially misstated due to fraud,including the nature,extent and frequency of such
assessments;
Management’s process for identifying and responding to the risks of fraud in the
Municipality,including any specific risks of fraud that management has identified or
that have been brought to its attention,or classes of transactions,account balances,or
disclosures for which a risk of fraud is likely to exist;
Management’s communication,if any,to those charged with governance regarding its
processes for identifying and responding to the risks of fraud in the Municipality;and
Management’s communication,if any,to employees regarding its view on business
practices and ethical behaviour.
In response to our risk assessment and our inquiries of management,we will perform
procedures to address the assessed risks,which may include:
Inquiry of management,the Mayor and Council,and others related to any knowledge of
fraud,suspected fraud or alleged fraud;
Perform disaggregated analytical procedures and consider unusual or unexpected
relationships identified in the planning of our audit;
Incorporate an element of unpredictability in the selection of the nature,timing and
extent of our audit procedures;and
Perform additional required procedures to address the risk of management’s override
of controls including:
o Testing internal controls designed to prevent and detect fraud;
o Testing the appropriateness of a sample of adjusting journal entries and other
adjustments for evidence of the possibility of material misstatement due to
fraud;
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THE CORPORATION OF THE TOWN OF AURORA 15
o Reviewing accounting estimates for biases that could result in material
misstatements due to fraud,including a retrospective review of significant
prior years'estimates;and
o Evaluating the business rationale for significant unusual transactions.
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APPENDIX G –Independence Letter
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APPENDIX H –Communication Requirements
Required Communication Audit
Planning
Presentation
Audit Results
Presentation
Communication
Completed
1.Our responsibilities under
Canadian GAAS
Y
2.Our audit strategy and audit scope Y
3.Fraud risk factors Y
4.Going concern matters N
5.Significant estimates or judgments N
6.Audit adjustments N
7.Unadjusted misstatements N
8.Omitted disclosures N
9.Disagreements with Management N
10.Consultations with other
accountants or experts N
11.Major issues discussed with
management in regards to
retention
N
12.Significant difficulties encountered
during the audit N
13.Significant deficiencies in internal
control N
14.Material written communication
between BDO and Management
N
15.Any relationships which may affect
our independence Y
16.Any illegal acts identified during
the audit N
17.Any fraud or possible fraudulent
acts identified during the audit N
18.Significant transactions with
related parties not consistent with
ordinary business
N
19.Non-compliance with laws or
regulations identified during the
audit
N
20.Limitations of scope over our audit,
if any N
21.Written representations made by
Management N
22.Any modifications to our opinion,if
required N
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APPENDIX I –Resources and Services
OTHER BDO SERVICES
Solutions BDO Solutions provides municipalities with the accounting software
management tools need to run a better operation.Our expert team
understands the complex reporting requirements municipalities must adhere
to,as well as the limited resources they have to address these needs.Spend
more time serving your constituents,better manage budgets,allocate time and
resources more effectively and improve your ability to focus on the work that
really matters to your Municipality.
For more information,please visit the following link:
http://www.bdosolutions.com/ca/
Succession
Planning
Having a strong strategic plan,such as a succession plan for key employees and
strategic planning for the Board,is critical to a municipality’s success.With
our succession planning services,we can help your municipality with:
Planning for a change in leadership
Setting a strategic direction for the Board
Develop a strategic business plan for operations
Aligning all three groups of stakeholders (Board,employees and
members)and enhancing communication
For more information,please visit the following link:
http://www.bdo.ca/en/Services/Advisory/Business-
Transition/pages/default.aspx
Risk
Advisory
As Canada’s leading financial advisory firm,BDO helps municipalities and their
management teams effectively assess,develop and manage strategic
initiatives.
Visit the following link to find out more:
http://www.bdo.ca/en/Services/Advisory/Financial-
Advisory/pages/default.aspx
Outsourcing Our dedicated team of professional bookkeepers across Canada combined with
our powerful Microsoft cloud technology platform can provide you and your
Town with a world class bookkeeping solution that gives you anytime access to
your financial information.Our BDO Client Portal provides you with access to
comprehensive business management functionality and enables you to make
proactive and informed decisions for your municipality.
Visit the link below to find out how we can create a customized bookkeeping
solution for your municipality:
http://www.bdo.ca/en/Services/Outsourcing/Bookkeeping/pages/default.aspx
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Indirect
Tax
Municipality’s operating in Canada are impacted by commodity taxes in some
way or another.These include GST/HST,QST,PST,various employer taxes,
and unless managed properly,can have a significant impact on your
municipality’s bottom line.The rules for municipalities can be especially
confusing,and as a result many Towns end up paying more for indirect tax then
they need to.
Municipalities must keep on top of changes to ensure they are taking advantage
of the maximum refund opportunities.At BDO,we have helped a number of
municipalities of all sizes with refund opportunities,which can reduce costs for
the municipality and improve overall financial health.
For more information,please visit the following link:
http://www.bdo.ca/en/Services/Tax/Indirect-Tax/pages/default.aspx
BDO PUBLICATIONS
BDO’s national and international accounting and assurance department issues publications on
the transition and application of Public Sector Accounting Standards (PSAB).In addition,we
offer a wide array of publications on Accounting Standards for Private Enterprises (ASPE),
International Financial Reporting Standards (IFRS),and Accounting Standards for Not-for-Profit
Organizations (ASPNO).
For additional information on PSAB,including links to archived publications and model financial
statements,refer to the link below:
http://www.bdo.ca/en/library/services/assurance-and-accounting/pages/default.aspx.
MYPDR
Class is in session!Meeting Your Professional Development Requirements (MYPDR)is an
educational program designed to support our clients,contacts and alumni in achieving their
ongoing professional development requirements.
Through the MYPDR program,we are committed to providing timely,relevant topics that can
support you in meeting your ongoing professional development needs.For more information on
the MYPDR program or to register,please visit http://www.cvent.com/d/34qqxp.
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APPENDIX J –Changes in Accounting Standards
Affecting Your Municipality
Obligations for Contaminated Sites
Municipalities are required to adopt PS3260,Liability for Contaminated Sites for years
beginning on or after April 1,2014.Therefore for the Town you will be required to implement
this standard for fiscal year ended December 31,2015.
A liability for remediation of contaminated sites must be recognized when;all of the following
criteria are satisfied:
-An environmental standard exists;
-Contamination exceeds the environmental standards;
-The government or government organization is directly responsible or accepts
responsibility;
-It is expected that future economic benefits will be given up;and
-A reasonable estimate of the amount can be made.
This standard will involve the Engineering department to identify all potential sites and assess
the environmental impact,including any estimates of costs.This process should be
documented and maintained for audit purposes.
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